+66 2659 8000 [email protected]

MESSAGE FROM CHAIRMAN

THAILAND

Review of 2023

Thailand’s economy grew 1.9% in 2023, lower than the 2.6% in 2022 mainly due to declining exports, weak government spending and rising interest rates. The services sector was still a key economic driver, thanks to recovering international tourist arrivals and improving post-COVID domestic consumption.

Outlook for 2024

UOB Global Economics & Market Research (GEMR) forecasts a GDP growth of 3.6% yoy in 2024 on expectations of more balanced growth as export growth turns positive, while government spending normalises after disappearing in the election year of 2023.

The services sector will remain a key economic growth driver, driven by tourism. The number of international tourist arrivals is making a recovery to the 2024 target of 35m set by Tourism Authority of Thailand (TAT), vs 28m in 2023. The Jan 24 data on international tourists (3.03m, +42% yoy) and Chinese tourists (0.50m, +454% yoy) will not only underpin but also provide upside to TAT’s target, which is positive to tourism-related businesses.

We expect the Bank of Thailand to maintain its benchmark rate at 2.50% throughout 2024.

Stock Market Review for 2023

The SET Index declined around 15.15% in 2023 following a delay in the government’s formation and earnings downgrades by companies, especially in the energy sector which was plagued by lower crude oil prices.

In terms of sector performance, only two sectors saw positive returns. The outperformers were professional service (+38.54%) and electronics (+4.37%). The worst performers were industrial material and machine (-37.42%) which was mainly pressured by the fraud case of STARK (-99.2%), packaging (-34.95%), and media (-20.41%).

In 2023, net buyers were local investors (Bt116b) and local institutions (Bt81b), while foreign investors (Bt192b) and proprietary trading (Bt5b) were net sellers. The market was mainly pressured by foreign investors’ fund outflow.

2023 Operating Performance

Net profit decreased during the corresponding periods from 217,211,672 Baht to 90,859,956.34 Baht. In line with the Company’s policy of paying a dividend not less than 20% of net profit after tax, a dividend of Baht 0.04 in respect of the financial year ended 31 December 2023 will be proposed for approval at the shareholder’s meeting.

Stock Market and Business Outlook for 2024

We foresee sideways movement in the Thai equity market in 2024. While accelerating GDP growth would be positive to corporate earnings outlook, the wide policy rate gap between the US and Thailand would tend to weaken the baht and in turn limit foreign fund inflow. Therefore, the Thailand equity strategy for 2024 would be the bottom-up approach or selective buying.

Our investment themes for 2024 are: a) quality names with low debt levels and high cash flow visibility; b) sectors that benefit from a weakening baht, such as export (food & electronics) and services (tourism & healthcare); and c) defensive plays such as utilities and telecommunications.

APPRECIATION

On behalf of the Board, I would like to thank our stakeholders for their contributions, and we look forward to their continuing support and would like to thank my fellow board members, management and staff for their support all these years.

Mr. Viroj Tangjetanaporn
Chairman of the Board of Directors
UOB Kay Hian Securities (Thailand) Public Company Limited

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Vision, objectives, goals or operational strategies

Vision: Your trusted financial partner

Values: The Company is committed to building 4 basic values: 1) Respect 2) Integrity 3) Communication 4) Excellence “Investing With Purpose”

Mission: To provide continuous service for financial success to be the leader in securities business to make the stakeholders get maximum satisfaction.

Objectives and goals:
  • - To provide the highest quality professional service.
  • - Prompt in responding to clients’ needs.
  • - Develop skills and professionalism of staff.
  • - Perform duties with social responsibility.

Operation Strategy: The Company continuously upgraded its internet trading channel under the name UTRADE to improve its services. This is to facilitate the customers in their trading and to provide appropriate trading tools, analytics and training seminars to enable clients to optimize their trading performance with easy-to-use tools. Clients can also gain more in-depth information on both market trends and investment opportunities from professional analysts through a diverse and international perspective, with the Company. The Company has set a fair and appropriate fee rate along with providing tools, analysis, and presentations of knowledge to investors.

Business Overview

UOB Kay Hian Securities (Thailand) Public Company Limited (“the Company”), previously known as “Ocean Securities Company Limited”, was established on July 2, 1998, with an initial registered capital of Baht 250 million because the Separation of finance and securities business of Ocean Finance and Securities Company Limited. The Company accepted the transfer of assets and liabilities in securities business including the member of the Stock Exchange of Thailand No. 26 from Ocean Finance and Securities Company Limited and was approved by the Office of the SEC, starting securities business since then.

In 2000, Ocean Securities Company Limited sold its shares to United Investment Limited, a UOB group company in Singapore. And change the name to UOB Securities (Thailand) Company Limited. Subsequently, there was a business merger between UOB Group and Kay Hian Holdings Group as UOB-Kay Hian Holdings Limited. In 2001, the shareholding structure was restructured by United Investment Limited sold all its shares to UOB-Kay Hian Holdings Limited allows UOB-Kay Hian Holdings Limited to hold 99.99% of the total paid up shares and change the name to UOB Kay Hian Securities (Thailand) Company Limited. Later in the same year, the Company bought a retail business from BNP Paribas Peregrine Securities (Thailand) Company Limited and on February 21, 2005, the Company transformed into a public company under the name UOB Kay Hian Securities (Thailand) Public Company Limited.

UOB - Kay Hian Holdings Limited which is the parent company, a listed securities company which its subsidiary has significant market share in Singapore also have regional offices in Hong Kong, Malaysia, London, New York, Jakarta, Shanghai, and Manila. It is also an associate of United Overseas Bank group, a large commercial bank in Singapore which has a presence in Thailand, United Overseas Bank (Thai) Public Company Limited. As a result of such extensive relationships and networks, the Company can expand its customer base both domestically and internationally.

In addition, the Company has received exchange on knowledge, experience, and assistance in conducting securities business from the group companies. We have entered into a Service Agreement with UOB Kay Hian Private Limited, a subsidiary of UOB-Kay Hian Holdings Limited offers a wide range of services (details of the Service Agreement and service fees can be found in topic “Connected transactions”) From the past to the present, the Company has received assistance under the service agreement, such as providing assistance in developing information technology systems to be linked to a single system within the UOB Kay Hian Group. Set up a securities trading and risk management system including developing various systems which continue to be effective and meet clients’ requirements according to international standards.

Since 2005

Since 2005, the Company has received marketing support and the implementation of the Cross Selling Project, enabling the Company to expand its brokerage services to its clients by introducing clients through group companies. In addition, the company benefits from sharing resources with group companies, for example using information together in securities analysis work including giving the company ability to access overseas securities analyzing articles and market conditions prepared by group companies to develop our research.

In 2010

In 2010, the Company acquired and transferred the brokerage business from Merchant Partners Securities Public Company Limited. The Company issued and allocated new ordinary shares to Merchant Partners Securities Public Company Limited as consideration for the business transfer.

In 2011

And in 2011 the Company acquired United Securities Public Company Limited ("United"), which includes benefits right to be derived, to hire or contract about the provision of services specifically for Investment Consultant, any property, leasehold rights in connection with securities business property in cash receivables and other liabilities but excluding United's liabilities and obligations before transferring United assets (“Business Transfer”).

In 2013

In 2013 the company disposed of its investment in shares of United Securities Public Company Limited.

In 2016

In 2016, the Company expanded its retail business by entering into asset purchase agreements related to the operation of partial securities business for retail customers from Country Group Securities Public Company Limited (CGS), such assets including investment consultants and 21 branch offices.

In 2018

In 2018, the Company entered into an asset purchase agreement related to the operation of certain retail securities business from AEC Securities Public Company Limited including 6 Branch offices. And the Company was approved to qualify as bondholders' representative as a channel to increase income for the Company.

In 2022

In 2022, the Company expanded its retail business by entering into an asset purchase agreement relating to the operation of partial retail securities business including investment consulting from Asia Wealth Securities Company Limited

Major changes and developments in the past 3 years

In 2023, the Company's trading value was 1.91% of the total trading turnover from the total brokers in Thailand, which is lower than the levels in 2022, 2021 and 2020 (2.20%, 2.94% and 2.93%, respectively). The key reason for declining of market share is due to the Company’s client base, mainly local investors, which has lower market share to 33.82%, from 2022 at 35.47%. While trading value of foreign investors was rising to 50.68%, compared to 2022 at 48.02%. Amidst intensive competition the Company try to maintain its market share through 1) seminars on investment, 2) participate in the underwriting of shares initial public offering (the IPO) and debt instruments, and 3) conduct investment knowledge activities to strengthen the marketing team and reach more retail customers and gain more market share.

As of December 31, 2023, the Company has 1 headquarters and 40 branches, in a total of 41 locations. Head office located at No. 130-132, Sindhorn Tower 1, 2nd, 3rd Floor, Wireless Road, Lumpini Subdistrict, Pathumwan District, Bangkok, on June 26, 2023, the Company opened 1 new branch, namely Pak kret branch and closed Nakhon Ratchasima, Song Kla and Hat Yai (Green View) branch as a result the Company having 13 offices in Bangkok Metropolitan and 28 offices in upcountry.

Capital Structure

        As of December 31, 2023, the Company has registered capital of Baht 502,448,570 with paid-up capital of Baht 502,448,570 which equals to 502,448,570 shares of Baht 1.00 each.

Shareholders

        List of major shareholders As of December 31, 2023, the Company’s major shareholder is UOB-Kay Hian Holdings Limited holding 70.65% with details as follow:

No. Name Number of shares %
1. UOB-Kay Hian Holdings Limited 355,000,000 70.654
2. UOB Kay Hian Private Limited 86,547,734 17.225
3. Mr. Sophon Mitphunphanich 24,246,448 4.826
4. Mr. Wachira Tayanaraporn 10,000,000 1.990
5. UOB KAY HIAN (HONG KONG) LIMITED –
Client Account		 3,195,000 0.636
6. Mr. Siraprasert Jeeraponprapa 2,035,900 0.405
7. Mrs. Naowarat Pinijkusonjit 1,450,000 0.289
8. Ms. Anchana Pinijkusonjit 1,400,000 0.279
9. Thai NVDR Company Limited 1,048,064 0.209
10. Mr. Asakul Duangkosol 900,000 0.179
Total 485,823,146 96.691

        As of December 31, 2023, UOB-Kay Hian Holdings Limited was the Company’s major shareholder and has issued share capital of S$319,307,481 or 910,038,731 shares. (Share Buyback Account 10,000,000 shares or S$13,897,707.07) The shareholding structure of UOB-Kay Hian Holdings Limited is as follows:

TOP TEN SHAREHOLDERS AS AT 31 DECEMBER 2023 NO. OF SHARES %
TYE HUA NOMINEES (PTE) LTD 313,360,043 34.82
UOB KAY HIAN PTE LTD 120,363,509 13.37
U.I.P. HOLDINGS LIMITED 98,306,346 10.92
TANG WEE LOKE 42,168,232 4.69
CITIBANK NOMS SPORE PTE LTD 22,939,916 2.55
DBS NOMINEES PTE LTD 16,167,986 1.80
RAFFLES NOMINEES (PTE) LIMITED 13,288,639 1.48
UNITED OVERSEAS BANK NOMINEES P L 10,393,203 1.15
LIM AND TAN SECURITIES PTE LTD 10,366,458 1.15
UOB-KAY HIAN HOLDINGS LIMITED – SHARE BUYBACK ACCOUNT 10,000,000 1.11
TOTAL TOP 10 657,354,332 73.04
OTHERS 242,684,399 26.96
TOTAL 900,038,731 100.00
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ARTICLES OF ASSOCIATION OF

UOB KAY HIAN SECURITIES (THAILAND)
PUBLIC COMPANY LIMITED

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Financial Info / form 56-1

แบบฟอร์ม56-1

Form 56-1 one-report 2023

แบบฟอร์ม56-1

Form 56-1 one-report 2022

แบบฟอร์ม56-1

2021 - Form 56-1

แบบฟอร์ม56-1

2020 - Form 56-1

แบบฟอร์ม56-1

2019 - Form 56-1

แบบฟอร์ม56-1

2018 - Form 56-1"

แบบฟอร์ม56-1

2017 - Form 56-1

แบบฟอร์ม56-1

2016 - Form 56-1

แบบฟอร์ม56-1

2015 - Form 56-1

แบบฟอร์ม56-1

2014 - Form 56-1

Report of the independent certified
public accountants

To the shareholders and board of directors Uob Kay Hian securities (thailand) public company limited

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Good Corporate Governance Policy Of

UOB Kay Hian Securities (Thailand) Public Company Limited

The intention of the Board of Directors of UOB Kay Hian Securities (Thailand) Public Company Limited is to conduct its business efficiently, have good corporate governance and excellent management with the aim of benefiting shareholders and other stakeholders’ interest, maintaining business ethics and transparency. Therefore, the Board of Directors has established a policy on good corporate governance as a guideline to which directors, management and employees shall adhere, as follows:

1: Leadership Role and Responsibilities of the Board
1.1 The board should demonstrate a thorough understanding of its leadership role, assume its responsibilities in overseeing the company, and strengthen good governance, including:
        (1) Defining objectives;
        (2) Determining means to attain the objectives; and
        (3) Monitoring, evaluating, and reporting on performance.
1.2 To achieve sustainable value creation, the board should exercise its leadership role and pursue the following governance outcomes:
(1) Competitiveness and performance with long-term perspective;
(2) Ethical and responsible business;
(3) Good corporate citizenship; and
(4) Corporate resilience.
1.3 The board should ensure that all directors and executives perform their responsibilities in compliance with their fiduciary duties, and that the company operates in accordance with applicable law and standards.
1.4 The board should demonstrate a thorough understanding of the division of board and management responsibilities. The board should clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties.

2: Define Objectives that Promote Sustainable Value Creation
2.1 The board should define objectives that promote sustainable value creation and governance outcomes as a framework for the operation of the company.
2.2 The board should ensure that the company’s annual and medium-term objectives, goals, strategies, and plans are consistent with the long-term objectives, while utilizing innovation and technology effectively.

3: Strengthen Board Effectiveness
3.1 The board should be responsible for determining and reviewing the board structure, in terms of size, composition, and the proportion of independent directors so as to ensure its leadership role in achieving the company’s objectives.
3.2 The board should select an appropriate person as the chairman and ensure that the board composition serves the best interest of the company, enabling the board to make its decisions as a result of exercising independent judgment on corporate affairs.
3.3 The board should ensure that the policy and procedures for the selection and nomination of directors are clear and transparent resulting in the desired composition of the board.
3.4 When proposing director remuneration to the shareholders’ meeting for approval, the board should consider whether the remuneration structure is appropriate for the directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and long term.
3.5 The board should ensure that all directors are properly accountable for their duties, responsibilities and (in-) actions, and allocate sufficient time to discharge their duties and responsibilities effectively.
3.6 The board should ensure that the company’s governance framework and policies extend to and are accepted by subsidiaries and other businesses in which it has a significant investment as appropriate.
3.7 The board should conduct a formal annual performance evaluation of the board, its committees, and each individual director. The evaluation results should be used to strengthen the effectiveness of the board.
3.8 The board should ensure that the board and each individual director understand their roles and responsibilities, the nature of the business, the company’s operations, relevant law and standards, and other applicable obligations. The board should support all directors in updating and refreshing their skills and knowledge necessary to carry out their roles on the board and board committees.
3.9 The board should ensure that it can perform its duties effectively and have access to accurate, relevant and timely information. The board should appoint a company secretary with necessary qualifications, knowledge, skills and experience to support the board in performing its duties

4: Ensure Effective CEO and People Management
4.1 The board should ensure that a proper mechanism is in place for the nomination and development of the chief executive officer and key executives to ensure that they possess the knowledge, skills, experience, and characteristics necessary for the company to achieve its objectives.
4.2 The board should ensure that appropriate compensation structure and performance evaluation are in place.
4.3 The board should consider its responsibilities in the context of the company’s shareholder structure and relationships, which may impact the management and operation of the company.
4.4 The board should ensure the company has effective human resources management and development program to ensure that the company has adequate staffing and appropriately knowledgeable, skilled, and experienced employees and staff.

5: Nurture Innovation and Responsible Business
5.1 The board should prioritize and promote innovation that creates value for the company and its shareholders together with benefits for its customers, other stakeholders, society, and the environment, in support of sustainable growth of the company.
5.2 The board should encourage management to adopt responsible operations, and incorporate them into the company’s operations plan. This is to ensure that every department and function in the company adopts the company’s objectives, goals, and strategies, applying high ethical, environmental and social standards, and contributes to the sustainable growth of the company.
5.3 The board should ensure that management allocates and manages resources efficiently and effectively throughout all aspects of the value chain to enable the company to meet its objectives.
5.4 The board should establish a framework for governance of enterprise IT that is aligned with the company’s business needs and priorities, stimulates business opportunities and performance, strengthens risk management, and supports the company’s objectives.

6: Strengthen Effective Risk Management and Internal Control
6.1 The board should ensure that the company has effective and appropriate risk management and internal control systems that are aligned with the company’s objectives, goals and strategies, and comply with applicable law and standards.
6.2 The board shall establish an audit committee that can act effectively and independently.
6.3 The board should manage and monitor conflicts of interest that might occur between the company, management, directors, and shareholders. The board should also prevent the inappropriate use of corporate assets, information, and opportunities, including preventing inappropriate transactions with related parties.
6.4 The board should establish a clear anti-corruption policy and practices (including communication and staff training), and strive to extend its anti-corruption efforts to stakeholders.
6.5 The board should establish a mechanism for handling complaints and whistle blowing.

7: Ensure Disclosure and Financial Integrity
7.1 The board must ensure the integrity of the company’s financial reporting system and that timely and accurate disclosure of all material information regarding the company is made consistent with applicable requirements.
7.2 The board should monitor the company’s financial liquidity and solvency.
7.3 The board should ensure that risks to the financial position of the company or financial difficulties are promptly identified, managed and mitigated, and that the company’s governance framework provides for the consideration of stakeholder rights.
7.4 The board should ensure sustainability reporting, as appropriate.
7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and other stakeholders (such as analysts and potential investors).
7.6 The board should ensure the effective use by the company of information technology in disseminating information.

8: Ensure Engagement and Communication with Shareholders
8.1 The board should ensure that shareholders have the opportunity to participate effectively in decision - making involving significant corporate matters.
8.2 The board should ensure that the shareholders’ meetings are held as scheduled, and conducted properly, with transparency and efficiency, and ensure inclusive and equitable treatment of all shareholders and their ability to exercise their rights.
8.3 The board should ensure accurate, timely and complete disclosure of shareholder resolutions and preparation of the minutes of the shareholders’ meetings.

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Risk Management Policy

UOB Kay Hian Securities (Thailand) Public Company Limited

Introduction

Taking risks is an integral part of entrepreneurial behavior. The objectives of Risk Management function is not to eliminate all risks but to ensure that we are aware of all relevant risks and efforts are made to manage these appropriately at all business levels. Management needs to take those risks into consideration when making any business decision.

The aim of our Risk Management Policy is to establish formal communication to all business units and all departments on the Risk Management Framework and provide guidance on the risk tolerance of the Company. This will ensure that all business units perform risk identification, risk evaluation, risk control and risk monitoring in a consistent manners.

Risk Management Policy Statement

The Company believes Risk Management is one of the key strategies to help the Company achieve our objectives. We ensure that all business units implement our Risk Management Framework in dealing with all foreseeable risks appropriately. All material risks will be registered, monitored and reported to Management in order to be controlled efficiently such that Risk Management becomes an inherent factor to be taken into account when making business decisions.

Key safeguards embedded in the Company’s Risk Management policy include ensuring compliance with legal requirements and ensuring the integrity of the company’s financial reporting in both the company and business unit levels. The risk management approach integrated areas of corporate governance and internal controls system of the organization.

The Company has established both a top down and bottom up approach to Risk Management

The Board of Directors provide the top down oversight and accountability and has the responsibility of a) setting out the risk policy and framework b) reviewing the appropriateness of the policy and framework on an ongoing basis and c) ensuring that risk management and internal controls are implemented. In order to achieve this end, the Audit Committee is tasked with evaluating the sufficiency of the enterprise risk management policy and providing advice to both the Board and the Management.

At the core of the Company’s Risk Management structure is the Executive Committee (Ex-com). The Ex-com is responsible for monitoring and controlling key risks and any conditions that may have a material effect on business operations. Further the Ex-com acts as the centre of risk management engagement with the ability to reach out to the rest of the organization.

Each employee in the Company is encouraged to increase awareness of the impanct their own responsibilities may have on the organization as a whole. Our bottom-up risk management approach is done by business/risk owners. Each business unit is responsible for identifying, assessing and controlling Company to conduct a risk self assessment workshop with each department. This process aims to educate and increase awareness of bottom-up risks that each business unit may be exposed to.

In addition, Board of directors set up Risk Management Committee, which comprise of qualified director. RMC consolidates risks of all businesses and performs business impact analysis at the Company level. On continuing basis, RMC supports each business unit in implementing Risk Management and updates to Board of Director annually.

Aside from the role of verifying the effectiveness and integrity of existing internal controls, the internal audit team is also responsible for an independent audit of the risk management process

The Risk Management framework is a continuous and developing process which is central to the Company’s strategic management and designed to provide ‘reasonable assurance’.

To ensure good governance of company-wide risk management, the BoD approved a Risk Management Framework as a guideline for all business units to pursue. The BoD also appointed the RMC to monitor and control key risks to be consistent with the Company’s objectives.

For reporting and compliance related objectives, the system is designed to provide reasonable assurance that objectives are actually met. For strategic and operational objectives (which are subject to external influences) the framework is designed to provide reasonable assurance that management and the RMC are at least aware of the progress of each business unit in achieving its objectives.

        1. Risk Identification: With the aim of identifying our organization’s exposure to uncertainty, the Company has developed a methodical approach to indentifying risk. The Company and each business unit are responsible for identifying relevant risks and assessing its potential impact. This process is reviewed at least annually. Further the Holding company consolidates those risks and categories into five primary risks; Strategic, Operational, Financial, Compliance and Fraud. The Company believes that an in-house approach to Risk Management is most effective.
        2. Risk Evaluation: The Company and each business unit have developed a “Risk Map”. This map summarises material risks that could impact the Company’s strategic objectives and financial, such as earnings and continued operations. Risks are considered a material threat if they are above the predetermined threshold. Each risk is also described, and estimated in terms of probability of occurrence and severity of impact in the case it occurs.
         3. Risk Reporting: The efficient communication of risk intelligence within a company is critical and supported by a sound corporate governance structure. Each business unit produces a report of critical variables to help the tracking of risks of the business on regular basis.
         4. Risk Control: For risks which are identified as being above the acceptable threshold, the Company and each business unit will propose countermeasures to reduce or control the risk with Cost-Benefit Analysis and implement those measures if approved by BoD.
         5. Risk Monitoring: Risk monitoring involves both the ongoing assessment of risks as well as the ongoing review of the system that controls the risks. This is in order for the risk management frame work to remain effective in an external and internal environment that is dynamic in nature. Each business unit produces a report with warning threshold at both Company level to help monitoring their risks closely. If the threshold crossed, the risk will be escalated to the Head of the relevant business unit to take action immediately. To evaluate risk control, each business unit monitors the risks and their impacts on operations, which will be updated to the RMC on a quarterly basis. The overall system’s integrity is also reviewed by the Board of Directors in the annual Evaluation on the Adequacy of the internal Control System’

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AGM PROXY Form C

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News UOBKH : UOB KAY HIAN SECURITIES (THAILAND) PUBLIC COMPANY LIMITED

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Personal Data Protection for Shareholders’ Meeting

UOB KAY HIAN SECURITIES (THAILAND) PUBLIC COMPANY LIMITED (“UOBKH”) gives top priority to your privacy and safeguards your personal data, as a shareholder, authorized person or proxy. UOBKH, therefore, has set out policies, rules and regulations for UOBKH’s business, providing strict measures in protecting your personal data so that you can be assured that your personal data entrusted to UOBKH will be processed according to your needs and in accordance with the laws

UOBKH would like to inform you, as a data owner, of the purposes and details of the collection, usage and / or disclosure of your personal data as well as your legal rights in connection with personal data, as follows:

“Personal Data” means data that can directly or indirectly identify you.

Personal Data that UOBKH collects, uses and / or discloses

For the purposes of convening and attending the Shareholders’ Meeting, UOBKH shall collect your Personal Data including name-surname, age, date of birth, national identification number, passport number, taxpayer identification number, securities holder registration number, deposit account number, contact information, such as home address, workplace, phone number, fax number, email, IP address, voice recording, still picture, moving picture, and other information deemed as Personal Data under the Personal Data Protection Laws.

For identity verification, UOBKH shall request a photocopy and / or a copy of your identification card, which may contain sensitive Personal Data, such as religion. UOBKH has no intention to collect such sensitive Personal Data from you, thus asking for your cooperation to cover such data to make it unreadable prior to submitting the copy of your identification card to UOBKH.

Purposes and lawful basis of collecting, using and / or disclosing Personal Data

UOBKH shall collect, use and / or disclose your personal data only as necessary, based on our legitimate purposes or there is a lawful basis, including to fulfil our legal obligations, such as for calling and convening the Shareholders’ Meeting, verifying identity, delivering relevant documents, and carrying out any action required by law, such as the Public Limited Companies Act, B.E.2535 (1992), the Civil and Commercial Code and any other related laws, or to carry out actions necessary for legitimate interests of UOBKH or other persons or juristic persons, such as for preparing the Shareholders’ Meeting minutes, broadcasting video of the Meeting, recording still and moving pictures to be used for preparing the Meeting minutes and for publication via printed media and electronic media, for security, as well as for any other necessary actions, taking into account the fundamental rights of your Personal Data and to the extent that it is within your reasonable expectation.

Sources of Personal Data

UOBKH shall collect Personal Data directly from you and / or may collect Personal Data obtained from securities registrar, such as Thailand Securities Depository Co., Ltd. (TSD), only when necessary through methods that are in compliance with legal requirements.

Disclosure of Personal Data

UOBKH may disclose your Personal Data to government authorities, regulators, and relevant persons or agencies e.g. the Ministry of Commerce, the Securities and Exchange Commission, the Stock Exchange of Thailand, Thailand Securities Depository Co., Ltd., courts, data processors, third party service providers, competent authorities, etc., for the purposes as described in this Personal Data Protection Policy. UOBKH shall oversee that such persons or entities receiving such data will collect, use, and / or disclose your Personal Data to the extent and under the purposes as described in this Policy.

Duration of your Personal Data retention

UOBKH will retain your Personal Data for as long as necessary during the period you are UOBKH’s shareholder, or for as long as necessary to achieve related purposes, unless law requires or permits longer retention period of not over 10 years. UOBKH shall take appropriate actions to erase, destroy, or anonymize the Personal Data when it is no longer necessary or when the period lapses.

Protection of your Personal Data

For retention of your Personal Data, UOBKH implements technical measures and organizational measures to ensure appropriate security in the Personal Data processing and to prevent Personal Data breach. UOBKH has set out policies, rules and regulations on Personal Data protection, e.g. security standards of information technology and measures to prevent data recipients from using or disclosing the data for other purposes or without authorization or unlawfully. UOBKH has amended such policies, rules and regulations as frequently as deemed necessary and appropriate.

Moreover, UOBKH’s executives, employees, staff, contractors, agents, advisers and data recipients are obligated to keep the Personal Data confidential pursuant to confidentiality measure provided by UOBKH.

Your rights related to Personal Data

Your rights are legal rights, namely withdrawal of consent, data access, data portability, objection, data erasure or destruction, processing suspension, data rectification and compliant lodging. You may exercise any of these rights within legal requirements at the present or as amended in the future as well as regulations set out by UOBKH. In case you are under 20 years old or your legal contractual capacity is restricted, your father and mother, guardian or representative may request to exercise the rights on your behalf.

The exercise of aforementioned rights may be restricted under relevant laws and it may be necessary for UOBKH to deny or not be able to carry out your requests, e.g. to comply with the laws or court orders, public tasks, your request in breach of rights or freedom of other persons, etc. If UOBKH denies the request, UOBKH will inform you of the reason.

How to contact UOBKH and / or the Data Protection Officer

If you have any suggestions or inquiries regarding collection, usage and / or disclosure of your Personal Data as well as a request to exercise your rights, you may contact UOBKH and / or the Data Protection Officer via the following channels:

Tel. 026598000 ext. 8427

Data Protection Officer

Email: [email protected]

UOB KAY HIAN SECURITIES (THAILAND) PUBLIC COMPANY LIMITED, 130-132 Sindhorn Tower I, Wireless Road, Lumpini, Pathumwan, Bangkok, 10330

DIVIDEND POLICY

UOB Kay Hian Securities (Thailand) Public Company Limited has a policy to pay dividend at the approximate rate of 20% of net profit after deducting legal reserve. The payment is subject to the resolution of the shareholders’ meeting

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